Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PRINCIPAL FINANCIAL GROUP INCPFG · Entity 3209 | EVP & Ch Info Officer | March 27, 2020 | March 31, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
PRINCIPAL FINANCIAL GROUP INC
Report date March 27, 2020 · Filed March 31, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 1,432.5 |
Reported balance
After 2020-03-27 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-03-27 · Grant · Acquired 24.2 · Balance 1,432.5 F1: The units convert to common stock on a one-for-one basis. F2: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. |
Filing footnotes · ownership attribution and instrument terms
F1: The units convert to common stock on a one-for-one basis.
F2: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 27, 2020 Filed Mar 31, 2020 21:48 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 24.2 | $32.60 | $788.92 |
DisclosureSEC source: 0001126328-20-000114 · edgar.xml · derivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,432.5 Underlying: Common Stock · 24.2 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| February 24, 2020 Filed Feb 26, 2020 22:26 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 45,430 | $0.00 Strike: $51.73 | $0.00 |
DisclosureSEC source: 0001126328-20-000083 · edgar.xml · derivative · entry 3 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,430 Underlying: Common Stock · 45,430 shares Expires 2030-02-24 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 24, 2021. Read SEC document |
| February 24, 2020 Filed Feb 26, 2020 22:26 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 5,171 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-20-000083 · edgar.xml · nonDerivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,268 F1 · price: Settlement of performance-based restricted stock units granted February 27, 2017. F2 · balance_after: Includes 14,337 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 27, 2019 Filed Dec 31, 2019 21:17 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 14 | $54.76 | $766.64 |
DisclosureSEC source: 0001126328-19-000275 · edgar.xml · derivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,408.3 Underlying: Common Stock · 14 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| September 27, 2019 Filed Oct 1, 2019 21:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 13.2 | $57.37 | $757.28 |
DisclosureSEC source: 0001126328-19-000231 · edgar.xml · derivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,394.3 Underlying: Common Stock · 13.2 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| June 28, 2019 Filed Jul 2, 2019 22:24 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 12.8 | $57.92 | $741.38 |
DisclosureSEC source: 0001126328-19-000194 · edgar.xml · derivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,381 Underlying: Common Stock · 12.8 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 21:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 14.6 | $50.19 | $732.77 |
DisclosureSEC source: 0001126328-19-000129 · edgar.xml · derivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,368.3 Underlying: Common Stock · 14.6 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 22:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 43,795 | $0.00 Strike: $53.09 | $0.00 |
DisclosureSEC source: 0001126328-19-000099 · edgar.xml · derivative · entry 3 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,795 Underlying: Common Stock · 43,795 shares Expires 2029-02-25 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 25, 2020. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 22:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 10,965 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000099 · edgar.xml · nonDerivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,097 F1 · price: Settlement of performance-based restricted stock units granted February 22, 2016. F2 · balance_after: Includes 13,368 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 28, 2018 Filed Jan 2, 2019 22:07 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 16.6 | $43.56 | $723.10 |
DisclosureSEC source: 0001126328-19-000018 · edgar.xml · derivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,353.7 Underlying: Common Stock · 16.6 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 20:29 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 12 | $58.59 | $703.08 |
DisclosureSEC source: 0001126328-18-000264 · edgar.xml · derivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,337.1 Underlying: Common Stock · 12 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| June 29, 2018 Filed Jul 3, 2018 20:56 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 12.9 | $52.95 | $683.06 |
DisclosureSEC source: 0001126328-18-000206 · edgar.xml · derivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,325.1 Underlying: Common Stock · 12.9 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| March 29, 2018 Filed Apr 2, 2018 21:24 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 10.9 | $60.91 | $663.92 |
DisclosureSEC source: 0001126328-18-000135 · edgar.xml · derivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,312.3 Underlying: Common Stock · 10.9 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 22:13 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 29,490 | $0.00 Strike: $63.98 | $0.00 |
DisclosureSEC source: 0001126328-18-000107 · edgar.xml · derivative · entry 4 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,490 Underlying: Common Stock · 29,490 shares Expires 2018-02-26 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 26, 2019. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 22:13 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 5,367 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000107 · edgar.xml · nonDerivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,261 F1 · price: Settlement of performance-based restricted stock units granted February 23, 2015. F2 · balance_after: Includes 12,497 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 08, 2018 Filed Jan 9, 2018 22:15 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 24,310 | $0.00 Strike: $30.70 | $0.00 |
DisclosureSEC source: 0001126328-18-000023 · edgar.xml · derivative · entry 4 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 24,310 shares Expires 2023-02-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 7, 2017. Read SEC document |
| January 08, 2018 Filed Jan 9, 2018 22:15 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 24,310 | $71.59 | $1,740,352.90 |
DisclosureSEC source: 0001126328-18-000023 · edgar.xml · nonDerivative · entry 2 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,894 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 7, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.37 - $71.91, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · balance_after: Includes 12,497 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 08, 2018 Filed Jan 9, 2018 22:15 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 24,310 | $30.70 | $746,317.00 |
DisclosureSEC source: 0001126328-18-000023 · edgar.xml · nonDerivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,204 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 7, 2017. F2 · balance_after: Includes 12,497 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:37 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 8.9 | $71.39 | $635.37 |
DisclosureSEC source: 0001126328-18-000016 · edgar.xml · derivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,301.4 Underlying: Common Stock · 8.9 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| November 17, 2017 Filed Nov 20, 2017 16:54 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 900 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000283 · edgar.xml · nonDerivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,808 F1 · balance_after: Includes 12,411 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 29, 2017 Filed Oct 3, 2017 21:22 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 9.4 | $64.34 | $604.80 |
DisclosureSEC source: 0001126328-17-000242 · edgar.xml · derivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,292.5 Underlying: Common Stock · 9.4 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 15:18 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 13,495 | $0.00 Strike: $34.26 | $0.00 |
DisclosureSEC source: 0001126328-17-000196 · edgar.xml · derivative · entry 3 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,495 shares Expires 2021-02-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 16, 2017. Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 15:18 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 13,495 | $67.00 | $904,165.00 |
DisclosureSEC source: 0001126328-17-000196 · edgar.xml · nonDerivative · entry 2 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,192 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 16, 2017. F2 · balance_after: Includes 11,895 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 15:18 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 13,495 | $34.26 | $462,338.70 |
DisclosureSEC source: 0001126328-17-000196 · edgar.xml · nonDerivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,687 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 16, 2017. F2 · balance_after: Includes 11,895 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 21:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 9.1 | $64.07 | $583.04 |
DisclosureSEC source: 0001126328-17-000182 · edgar.xml · derivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,283.1 Underlying: Common Stock · 9.1 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| June 15, 2017 Filed Jun 16, 2017 20:30 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 21,950 | $0.00 Strike: $27.46 | $0.00 |
DisclosureSEC source: 0001126328-17-000161 · edgar.xml · derivative · entry 3 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,950 shares Expires 2022-02-27 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 16, 2017. Read SEC document |
| June 15, 2017 Filed Jun 16, 2017 20:30 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 21,950 | $65.04 | $1,427,628.00 |
DisclosureSEC source: 0001126328-17-000161 · edgar.xml · nonDerivative · entry 2 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,109 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 16, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.00 - $65.15, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · balance_after: Includes 11,812 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 15, 2017 Filed Jun 16, 2017 20:30 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 21,950 | $27.46 | $602,747.00 |
DisclosureSEC source: 0001126328-17-000161 · edgar.xml · nonDerivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,059 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 16, 2017. F2 · balance_after: Includes 11,812 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 21:34 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 9 | $63.11 | $567.99 |
DisclosureSEC source: 0001126328-17-000099 · edgar.xml · derivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,274 Underlying: Common Stock · 9 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 22:27 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 31,745 | $0.00 Strike: $62.78 | $0.00 |
DisclosureSEC source: 0001126328-17-000075 · edgar.xml · derivative · entry 4 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,745 Underlying: Common Stock · 31,745 shares Expires 2027-02-27 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 27, 2018. Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 22:27 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 6,838 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000075 · edgar.xml · nonDerivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,025 F1 · price: Settlement of performance-based restricted stock units granted February 24, 2014. F2 · balance_after: Includes 11,728 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 22, 2017 Filed Feb 23, 2017 22:30 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 20,900 | $0.00 Strike: $60.10 | $0.00 |
DisclosureSEC source: 0001126328-17-000063 · edgar.xml · derivative · entry 5 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,900 shares Expires 2018-02-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 10, 2016. Read SEC document |
| February 22, 2017 Filed Feb 23, 2017 22:30 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 20,900 | $63.10 | $1,318,790.00 |
DisclosureSEC source: 0001126328-17-000063 · edgar.xml · nonDerivative · entry 2 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,187 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 10, 2016. F2 · balance_after: Includes 11,728 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 22, 2017 Filed Feb 23, 2017 22:30 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 20,900 | $60.10 | $1,256,090.00 |
DisclosureSEC source: 0001126328-17-000063 · edgar.xml · nonDerivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,087 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 10, 2016. F2 · balance_after: Includes 11,728 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 22:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 9.2 | $58.73 | $540.32 |
DisclosureSEC source: 0001126328-16-000652 · edgar.xml · derivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,265 Underlying: Common Stock · 9.2 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| December 09, 2016 Filed Dec 9, 2016 22:47 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 13,549 | $60.31 | $817,140.19 |
DisclosureSEC source: 0001126328-16-000626 · edgar.xml · nonDerivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,101 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2016. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.10 - $60.47, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F3 · balance_after: Includes 11,642 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 07, 2016 Filed Dec 8, 2016 21:42 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 6,755 | $0.00 Strike: $56.42 | $0.00 |
DisclosureSEC source: 0001126328-16-000623 · edgar.xml · derivative · entry 8 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,755 shares Expires 2018-05-19 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 10, 2016. Read SEC document |
| December 07, 2016 Filed Dec 8, 2016 21:42 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 17,725 | $0.00 Strike: $22.21 | $0.00 |
DisclosureSEC source: 0001126328-16-000623 · edgar.xml · derivative · entry 7 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,725 shares Expires 2020-02-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 12, 2015. Read SEC document |
| December 07, 2016 Filed Dec 8, 2016 21:42 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 6,755 | $60.00 | $405,300.00 |
DisclosureSEC source: 0001126328-16-000623 · edgar.xml · nonDerivative · entry 4 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,650 F3 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 10, 2016. F2 · balance_after: Includes 11,642 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 07, 2016 Filed Dec 8, 2016 21:42 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 6,755 | $56.42 | $381,117.10 |
DisclosureSEC source: 0001126328-16-000623 · edgar.xml · nonDerivative · entry 3 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,405 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 10, 2016. F2 · balance_after: Includes 11,642 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 07, 2016 Filed Dec 8, 2016 21:42 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 17,725 | $60.00 | $1,063,500.00 |
DisclosureSEC source: 0001126328-16-000623 · edgar.xml · nonDerivative · entry 2 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,650 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 12, 2015. F2 · balance_after: Includes 11,642 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 07, 2016 Filed Dec 8, 2016 21:42 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 17,725 | $22.21 | $393,672.25 |
DisclosureSEC source: 0001126328-16-000623 · edgar.xml · nonDerivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,375 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 12, 2015. F2 · balance_after: Includes 11,642 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 14:58 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 13,000 | $58.00 | $754,000.00 |
DisclosureSEC source: 0001126328-16-000601 · edgar.xml · nonDerivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,650 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 12, 2015. F2 · balance_after: Includes 11,642 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:54 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 9.9 | $51.51 | $509.95 |
DisclosureSEC source: 0001126328-16-000576 · edgar.xml · derivative · entry 4 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,255.8 Underlying: Common Stock · 9.9 shares Expires not disclosed F3 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F4 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F4 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:54 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 17 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000576 · edgar.xml · nonDerivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,650 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 11,642 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.